Dan L. Griggs

CETERA INVESTMENT ADVISERS LLC

PANAMA CITY BEACH, FL

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CRD#: 2705880

Professional summary

Dan Lyndall Griggs is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Panama City Beach, Florida and CETERA WEALTH SERVICES, LLC located in Panama City Beach, Florida.

Dan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Dan has worked at 7 firms and has passed the Series 63, SIE, Series 62, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 01/2000; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: OCCASIONAL SALES OF FIXED LIFE INSURANCE; 2. NAME OF OTHER BUSINESS: AUSTIN COORDINATED RESOURCES INC. INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES / TAX ENTITY; START DATE: 09/2000; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dan Lyndall Griggs's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 13, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

PANAMA CITY BEACH, FL

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

PANAMA CITY BEACH, FL

Past

March 12, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

April 21, 2011 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

PANAMA CITY BEACH, FL

Past

April 21, 2011 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

PANAMA CITY BEACH, FL

Past

May 2, 2001 - April 28, 2011

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

AUSTIN, TX

Past

April 2, 2001 - April 28, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

LAKEWAY, TX

Past

October 14, 1996 - April 3, 2001

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

Past

March 20, 1996 - October 14, 1996

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(9/21/2019)

IAR

Florida
(4/13/2023)

New Jersey
(2/8/2024)

Texas
(9/20/2019)

IAR

Texas
(6/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/2/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 12/29/2000

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 22

Date: 2/26/1998

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 3/19/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Dan L. Griggs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dan Lyndall Griggs's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

FFP SECURITIES, INC.

SECURITIES AMERICA, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/2/1996

SIE

Date: 10/1/2018

Series 62

Date: 12/29/2000

Series 22

Date: 2/26/1998

Series 6

Date: 3/19/1996

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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